Introduced by: Special Committee for Evaluation of Campus
Policies and
Procedures in Handling Misconduct Cases

Co-Sponsored by: Council on Educational Policy (EPC)
Council on Research (RES)
Council on Academic Freedom and Ethics (CAFE)

Date: March 10, 2003

RECOMMENDATIONS AND POLICY FRAMEWORK ON RESPONDING TO
MISCONDUCT IN RESEARCH AND SCHOLARSHIP

IT IS HEREBY PROPOSED THAT THE FOLLOWING BE ADOPTED:

1. The University Senate approves the creation of a new University Senate Committee,
Committee on Ethics in Research and Scholarship (CERS). The charge and composition
of this committee are as outlined in the Preamble of the recommendations from
the Special Ad hoc Committee for Evaluation of Campus Policies and Procedures
in Handling Misconduct Cases.

2. The University Senate approves and adopts the recommendations of the Special
Committee on the policy framework, its philosophies, its procedures, and its
recommendations for remaining work in finalizing a full policy. The procedures
in the new policy framework should be implemented at the time the bill is approved.

3. The bill will be referred to the President for approval.

Rationale

The bill addresses recommendations and a policy framework developed by the
Special ad hoc Committee. The report of this committee is appended. The core
items in the bill are found in that appended document. A preamble in the report
provides some rationale. Additional rationale is provided here.

Historical Background

The Special Committee that crafted this proposal was appointed by the Senate
Chair and approved by the Senate Executive Committee in Spring 2002. Faculty
representation from came from EPC, RES, CAFE, CPCA. The Vice President for Research
and the (current) Interim Vice President for Research were also members. Consultation
was provided both from the University Counsels office and the University
Compliance officer.

The Committee was asked (by the Senate Executive Committee) to address three
points regarding campus policy for responding to allegations of plagiarism and
misconduct in research and scholarship:

Faculty concerns arose regarding existing University procedures as employed
in a recent case. In a faculty forum in Spring 2002, the President concurred
that our existing procedures require examination.

Our existing policy should be evaluated in light of ongoing revisions of federal
guidelines regarding handling of research misconduct cases .

Our current campus policy may be incomplete.

Institutional Administration of the Current and Proposed Policy

The current University policy governing handling of misconduct cases is found
in the Faculty Handbook under Policies related to faculty obligation.

The current policy is not part of the faculty bylaws.

It is not specifically part of the charge of any Senate Committee or Council,
although the Council on Research and CAFE may have charges that are loosely
related to the topic of misconduct in research.

The University President can authorize/change the policy as she/he sees fit.

The current version of the campus policy was approved by the University Senate
(1989) and adopted by the President. A 1995 amendment by the Council on Research
was also adopted by the President.

What Problems Exist in Our Current Procedures?

The VPR can receive allegation and decide, alone, whether to proceed. No faculty
or governance involvement is required by the current policy.

There is no requirement for formal faculty or governance involvement in either
Inquiry or Investigation committees.

Final determination by the President: No formal mechanism exists for consultation
with faculty or governance.

Penalty/sanctions decision by the President: No mechanism is currently present
for the President to formally consult with faculty or governance.

Disclosure of information in cases where misconduct is found (e.g., informing
relevant public constituencies) is not well addressed.

Core Aspects of the Proposal Address the Issues Outlined Above

The committee recommends a new policy framework to guide a full revision of
the current policy. In the interim, the proposed framework supplements the current
policy and solves several of the problems outlined above.

The proposed framework ensures clear faculty involvement at each stage of the
process.

A new Senate committee (CERS) is proposed to provide a governance body that
will review and recommend policy and procedures for the Universitys response
to allegations of misconduct. This committee will also supply members to participate
in the handling of all University cases where misconduct is alleged.

The Senate can create such a committee at its discretion.

The President and VPR can begin using such a committee in any investigations
of misconduct without change in the current policy.

Why Is There an Urgent Need for This Framework?

If adopted, the proposal would establish a way for immediate faculty involvement
in all misconduct cases.

Training in the handling of such cases is an important and unique aspect of
the proposal and could begin immediately.

With the adoption of this bill, consultation with faculty/governance on disciplinary
actions could begin immediately with all cases arising after the framework adoption.

A process for addressing disclosure of misconduct and sanctions is recommended
for cases where misconduct has been determined.